Investor Alerts and Bulletinshttp://www.sec.gov/investor/alerts
The SEC’s Office of Investor Education and Advocacy provides a variety of services and tools to address problems you may face as an investor. Investor Alerts, focused on recent investment frauds and scams, and Investor Bulletins, focused on topical issues including recent Commission actions, are provided as a service to investors. They are neither legal interpretations nor statements of SEC policy. If you have questions concerning the meaning or application of a particular law or rule, please consult with an attorney who specializes in securities law. Subscribe to get Investor Alerts and Bulletins by email.
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en-usWed, 29 Jul 2015 06:38:29 -0400Wed, 29 Jul 2015 06:38:29 -0400Investor Alert: Fraudulent Stock Promotionshttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_promotions.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fraudsters who promote a stock to drive up the stock price and then sell their own shares at the inflated price, making money at investors’ expense.1370545662068Wed, 29 Jul 2015 06:38:29 -0400Investor Bulletin: Regulation Ahttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_regulationa.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about Regulation A. The SEC has recently amended Regulation A in order to implement the part of the Jumpstart Our Business Startups (JOBS) Act that makes Regulation A a more compelling option for smaller companies to use to raise money.1370545487899Wed, 08 Jul 2015 06:53:37 -0400Investor Alert: Beware of Fantasy Stock Trading Websites Offering Real Returnshttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_fantasytrading.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about fantasy stock trading and other similar websites that may violate federal securities laws designed to protect investors from abuses in the swaps market.1370545324787Wed, 17 Jun 2015 06:28:55 -0400Investor Alert for Seniors: Five Red Flags of Investment Fraudhttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_5redflags.htmlOlder Americans are often targets of investment fraud. The SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help seniors identify signs that what is offered as an investment may actually be a fraud. Below are five “red flags” seniors should look out for when making an investment decision.1370545277733Mon, 15 Jun 2015 07:35:09 -0400Investor Alert: Beware of False or Exaggerated Credentialshttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_credentials.htmlThe SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors that fraudsters may misrepresent their backgrounds and experience to lure investors into investment schemes. Before investing, investors should verify that any person who tries to sell them an investment product or service is properly licensed or registered and should not make investment decisions based solely on assertions regarding the person’s credentials or professional experience, including claims found on the Internet or in traditional media sources.1370545182100Wed, 03 Jun 2015 06:22:09 -0400Investor Bulletin and Consumer Advisory: Planning for Diminished Capacity and Illnesshttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_illness.htmlThe SEC’s Office of Investor Education and Advocacy and the CFPB’s Office for Older Americans are issuing this bulletin to help investors and consumers understand the potential impact of diminished capacity on their ability to make financial decisions and to encourage investors and consumers to plan for possible diminished financial capacity well before it happens.1370545141467Mon, 01 Jun 2015 06:02:58 -0400Updated Investor Alert: SEC Warns of Government Impersonatorshttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_impersonators2.htmlSEC staff is issuing this updated Investor Alert because we are aware of continuing fraudulent solicitations that purport to be affiliated with or sponsored by the Securities and Exchange Commission.1370544992884Mon, 11 May 2015 12:59:33 -0400Investor Alert: Automated Investment Toolshttp://www.sec.gov/oiea/investor-alerts-bulletins/autolistingtoolshtm.htmlThe SEC’s Office of Investor Education and Advocacy (OIEA) and the Financial Industry Regulatory Authority, Inc. (FINRA) are issuing this alert to provide investors with a general overview of automated investment tools.1370544960503Fri, 08 May 2015 10:49:18 -0400Updated Investor Alert: Beware of Companies Using the SEC Sealhttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_secseal.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this updated Investor Alert to help investors identify fraudsters’ unauthorized use of the SEC seal as a way to convince prospective customers that a fraud, including an advance fee loan scam, is legitimate.1370544606977Fri, 03 Apr 2015 12:01:43 -0400Investor Bulletin: Bankruptcy for a Public Companyhttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_bankruptcy.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about what happens when a publicly traded company declares bankruptcy.1370544578380Tue, 31 Mar 2015 05:22:23 -0400Investor Bulletin: An Introduction to Optionshttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_introductionoptions.htmlThe SEC’s Office of Investor Education is issuing this investor bulletin to help educate investors about the basics, including some of the potential risks, of options trading. Options trading may occur in a variety of securities marketplaces and may involve a wide range of financial products, from stocks to foreign currencies. This bulletin focuses on the basics of trading listed stock options.1370544453152Wed, 18 Mar 2015 06:46:00 -0400Investor Bulletin: Opening an Options Accounthttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_openingoptionsaccount.htmlThe SEC’s Office of Investor Education is issuing this investor bulletin to help you to understand what to expect when opening an options trading account with your broker-dealer.1370544452979Wed, 18 Mar 2015 06:27:12 -0400Investor Bulletin: Roth TSP for Uniformed Services Membershttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_rothtsp.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help educate uniformed services members about the Roth Thrift Savings Plan.1370544296927Fri, 27 Feb 2015 06:31:13 -0500Investor Alert: “Prime Bank” Investments Are Scamshttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_primebankscam.htmlThe SEC’s Office of Investor Education and Advocacy (OIEA) is issuing this Investor Alert to warn investors about fraudulent investment schemes involving purportedly high-yield, risk-free international finance programs.1370544090681Thu, 05 Feb 2015 06:11:55 -0500Investor Bulletin: Protecting Your Online Brokerage Accounts from Fraudhttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_protectaccount.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help investors protect their online brokerage accounts from fraud. As with all web-based accounts, investors should take precautions to help ensure that their online brokerage accounts remain secure. These online security tips can help.1370543957620Tue, 03 Feb 2015 06:08:36 -0500Investor Bulletin: Structured Noteshttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_structurednotes.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to inform investors of features – and some potential risks – of structured notes. While structured notes may enable individual retail investors to participate in investment strategies that are not typically offered to them, these products can be very complex and have significant investment risks. Before investing in structured notes, you should understand how the notes work and carefully consider their risks.1370543860011Mon, 12 Jan 2015 07:03:27 -0500Investor Bulletin: 15 Investment Tips for 2015http://www.sec.gov/oiea/investor-alerts-bulletins/ib_tips2015.htmlWhether you’re a first-time investor or have been investing for years, here are fifteen tips to help you make more informed financial decisions and avoid common investment scams in 2015.1370543851478Mon, 05 Jan 2015 09:46:29 -0500Investor Bulletin: How Harmed Investors May Recover Moneyhttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_recovermoney.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about how they may be able to recover money if they have been harmed by a violation of the federal securities laws.1370543787240Mon, 29 Dec 2014 06:47:44 -0500Investor Bulletin: Brokers’ Miscellaneous Feeshttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_brokersmiscfees.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this bulletin to make investors aware of the miscellaneous fees charged by some brokers.1370543675020Mon, 15 Dec 2014 06:13:57 -0500Investor Alert: Investment Scams Involving Ebola-Related Companieshttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_ebola.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to warn investors about investment scams involving companies that claim their products or services relate to Ebola.1370543471150Thu, 20 Nov 2014 06:30:58 -0500Updated Investor Alert: Social Media and Investing - Avoiding Fraudhttp://www.sec.gov/oiea/investor-alerts-bulletins/ia_socialmediafraud.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Alert to help investors be better aware of fraudulent investment schemes that may involve social media. U.S. retail investors are increasingly turning to social media, including Facebook, YouTube, Twitter, LinkedIn and other online networks for information about investing. Whether it be for research on particular stocks, background information on a broker-dealer or investment adviser, guidance on an overall investing strategy, up-to-date news, or to simply discuss the markets with others, social media has become a key tool for U.S. investors.1370543394501Wed, 12 Nov 2014 06:22:19 -0500Dormant Shell Companies – How to Protect Your Portfolio from Fraudhttp://www.sec.gov/oiea/investor-alerts-bulletins/dormantshell.htmlFINRA and the SEC’s Office of Investor Education and Advocacy are issuing this alert to warn investors that some low-priced “penny” stocks that are aggressively promoted may in fact be stocks of dormant shell companies – companies that have no or nominal business operations or non-cash assets for an extended period of time. Many dormant shell companies that continue to trade in the over-the-counter (OTC) market are susceptible to market manipulation. This alert follows action by the SEC to suspend trading in 255 dormant shell companies in February 2014 and subsequent suspensions of other thinly traded penny stocks.1370543323704Thu, 30 Oct 2014 05:59:13 -0400Investor Bulletin: SEC Investigationshttp://www.sec.gov/enforce/investor-alerts-bulletins/ib_investigations.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to provide investors with a general overview of how the SEC’s Division of Enforcement conducts investigations.1370543249840Wed, 22 Oct 2014 15:12:00 -0400Investor Bulletin: Savings and Investing Basics for Military Personnel http://www.sec.gov/oiea/investor-alerts-bulletins/ib_basicsmilitary.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to help military personnel make more informed savings and investing decisions and avoid common scams. Below is a list of ten suggestions that may help military personnel – and any investor – make better investments and avoid fraud.1370543076839Thu, 02 Oct 2014 06:45:16 -0400Investor Bulletin: Private Placements Under Regulation Dhttp://www.sec.gov/oiea/investor-alerts-bulletins/ib_privateplacements.htmlThe SEC’s Office of Investor Education and Advocacy is issuing this Investor Bulletin to educate investors about investing in unregistered securities offerings, or private placements, under Regulation D of the Securities Act.1370543018703Wed, 24 Sep 2014 06:28:35 -0400